For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Submit Date | Report URL | Comments |
|---|---|---|
| 06-23-2026 | https://www.ml.com/legal.html |
These events are designed to strengthen your firm's cybersecurity preparedness—including the debut of a brand-new format we believe will transform how you approach incident response. Attend the first informative webinar to build your ransomware knowledge, then test your response capabilities with our new Decision Simulation format.
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
Beginning in mid-June, FINRA is conducting an information request focused on member firms’ and affiliates’ current and anticipated crypto asset activities. This webinar will provide an overview of the information request, explain why FINRA is making the request, discuss the submission process for the five-question inquiry, and clarify the scope of activities FINRA is inquiring about—including crypto assets that are securities and those that are not.
